Laura A. Swift

QUAD-CITIES INVESTMENT GROUP

Saugerties, NY

CRD#: 4117964

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Professional summary

Laura Ann Swift, who also goes by Laura Ann Gritton, Laura Ann Sullivan, Laura Sullivan, Laura A. Swift, Laura Swift, is a registered financial advisor currently at QUAD-CITIES INVESTMENT GROUP, LLC located in Saugerties, New York.

Laura is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2000. Laura has worked at 7 firms and has passed the Series 66, Series 31 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Laura Ann Gritton | Laura Ann Sullivan | Laura Sullivan | Laura A. Swift | Laura Swift

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Laura Ann Swift's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

June 28, 2010 - Present

QUAD-CITIES INVESTMENT GROUP, LLC

RIA

CRD#: 154113

Saugerties, NY

Past

July 7, 2010 - December 31, 2011

SILVER OAK SECURITIES, INCORPORATED

CRD#: 46947

DAVENPORT, IA

Past

October 7, 2009 - July 1, 2010

CHICAGO INVESTMENT GROUP ADVISORS, LLC

RIA

CRD#: 148188

CHICAGO, IL

Past

October 7, 2009 - July 1, 2010

CHICAGO INVESTMENT GROUP, LLC

CRD#: 11853

DAVENPORT, IA

Past

August 12, 2006 - October 14, 2009

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

DAVENPORT, IA

Past

August 12, 2006 - October 14, 2009

UBS FINANCIAL SERVICES INC.

CRD#: 8174

DAVENPORT, IA

Past

February 1, 2001 - August 12, 2006

PIPER SANDLER & CO.

RIA

CRD#: 665

DAVENPORT, IA

Past

January 16, 2001 - August 12, 2006

PIPER SANDLER & CO.

CRD#: 665

DAVENPORT, IA

Past

March 8, 2000 - January 25, 2001

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

QUAD-CITIES INVESTMENT GROUP, LLC

CRD#: 154113 / SEC#: 801-71612

RIA

Registered Investment Advisory firm - (6/28/2010 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Illinois
(6/28/2010)

IAR

Iowa
(6/28/2010)

IAR

New York
(12/7/2023)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 3/29/2000

Uniform Combined State Law Examination

General Industry/Product Exam

Series 31

Date: 1/14/2004

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 3/7/2000

General Securities Representative Examination

Current Firm

QUAD-CITIES INVESTMENT GROUP, LLC

CRD#: 154113 / SEC#: 801-71612

RIA

Registered Investment Advisory firm - (6/28/2010 Approved)

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Contact information

Main Address

5177 Utica Ridge Road, Davenport, IA 52807

Mailing Address

Phone number

(563) 484-5000

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (14 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

2017 ADV PART 2A (1/28/2026)

Regulatory assets under management

Total Number of Accounts	1,546
AUM (Assets Under Management)	$ 425,502,001

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Firm Stability Insights

Laura A. Swift

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Laura Ann Swift's CRS (Customer Relationship Summary).

Certified licenses

Experience

SILVER OAK SECURITIES, INCORPORATED

CHICAGO INVESTMENT GROUP ADVISORS, LLC

CHICAGO INVESTMENT GROUP, LLC

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

PIPER SANDLER & CO.

PIPER SANDLER & CO.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Primary Firm SEC Registration

QUAD-CITIES INVESTMENT GROUP, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 3/29/2000

Series 31

Date: 1/14/2004

Series 7

Date: 3/7/2000

Current Firm

QUAD-CITIES INVESTMENT GROUP, LLC

Contact information

SEC notice filing (14 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

QUAD-CITIES INVESTMENT GROUP, LLC

TRUST BUT VERIFY

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